Conferences & Events

Get SET - State Examiner Training

January 25-26, 2023 • Virtual
FINRA and NASAA are bringing securities regulators together for a joint virtual conference dedicated to training state securities examiners on conducting broker-dealer exams.

FINRA Firm Grouping Conference

December 1, 2022 
FINRA Firm Grouping Conference is a one-day conference designed to provide financial professionals associated with FINRA member firms the opportunity to engage in key discussions with FINRA staff and connect with industry leaders and peers. The conference includes thoughtful discussions around the future landscape of the financial services industry. In-person attendees have access to breakout sessions tailored to their firm grouping. Please note: Only plenary sessions will be available to virtual attendees.

Small Firm Conference

November 9-10, 2022 
The Small Firm Conference focuses on small firms' practices and tips for complying with FINRA rules. Throughout the event, attendees have the opportunity to discuss small firm topics with FINRA senior staff.

FINRA Virtual Diversity Leadership Summit

October 25-27, 2022
A forum for diversity practitioners and business leaders in the industry to share effective practices for diversity, equity and inclusion in the workplace.

Advertising Regulation Conference

October 20-21, 2022
FINRA's Advertising Regulation Conference provides a forum for practical guidance on complying with the advertising rules, updates on new developments in communications compliance, and the opportunity to meet and learn from industry and FINRA experts.

2022 Annual Conference

May 16-18, 2022
FINRA's premier event—this conference provides the opportunity for practitioners, peers and regulators to exchange ideas on today's most timely compliance and regulatory topics.

Cloud Computing Conference

March 30, 2022
This one-day conference brings together regulators, thought leaders and industry practitioners to discuss the use of Cloud Computing, and related opportunities and challenges.

Cybersecurity Conference

March 29, 2022
FINRA’s Cybersecurity Conference helps you stay current on today’s cybersecurity challenges and the ways in which organizations can understand vulnerabilities and threats, and create resilience against cyber attacks.

Compliance Outreach Program for Municipal Advisors Webcast

October 7, 2021
Co-sponsored by the SEC, MSRB and FINRA, this free webcast program is designed to provide municipal market participants an opportunity to hear from SEC, MSRB and FINRA staff on timely regulatory and compliance matters for municipal advisors.

Virtual Technology Conference

June 23, 2021
The 2021 FINRA Virtual Technology Conference showcases the latest technology offerings to our member firms. Technology is transforming the Financial Services industry and FINRA is dedicated to supplying our members with innovative technology designed to protect investors and ensure market integrity.

FINRA Registration Systems Foundation Virtual Training

FINRA Registration Systems Foundation Training includes two half days of virtual training for firms on FINRA Gateway and related systems. This training is designed for compliance personnel who are new to registration and licensing or need to become more familiar with navigating FINRA Gateway and submitting Uniform Forms (U4, U5, BR, BD). The format of the training will be live system demonstration via Zoom webinar.

Small firms represent a critical portion of FINRA’s membership and often face regulatory challenges that are unique from their large firm counterparts. In an effort to provide additional compliance education, FINRA offers the Small Firm Conference Call, a free series hosted by senior FINRA leaders who discuss trending topics, new rules and regulatory guidance and best practices.

Virtual Compliance Boot Camps

FINRA's Compliance Boot Camps are one-hour interactive virtual classroom sessions that include training on Cybersecurity, AML and Social Media topics and provide an opportunity to learn from and work closely with FINRA subject matter experts in a small group setting.

Virtual Conference Panels

Virtual conference panels provide a unique opportunity to hear the most up-to-date compliance information directly from industry and regulatory experts.

Webinars

FINRA webinars are free online video programs delivered right to your desktop. Webinars include panel discussions with FINRA staff and/or industry experts and feature online resource materials that participants can access from their own computers.